CONTENTS EXECUTIVE SUMMARY 3 REPORTING CHAIRMAN & CEO LETTER 3 ENVIRONMENTAL, SOCIAL AND SUSTAINABILITY HIGHLIGHTS 4 GOVERNANCE (ESG) DATA 56 GOALS AND PROGRESS 6 PRIORITIZATION AND MANAGEMENT SUSTAINABILITY AT CATERPILLAR 8 OF ESG ISSUES 60 CORPORATE GOVERNANCE 11 SUSTAINABILITY ACCOUNTING STANDARDS BOARD (SASB) INDEX 61 ENERGY, FUEL ECONOMY AND EMISSIONS 15 GLOBAL REPORTING INITIATIVE (GRI) INDEX 62 MATERIAL PROCUREMENT 31 DATA ASSURANCE 68 REMANUFACTURING 34 ABOUT THIS REPORT 69 PEOPLE 39 PHILANTHROPY 50 KEY: GO DIRECTLY TO CONTENT CORPORATE PROFILE With 2021 sales and revenues of $51.0 billion, Caterpillar Inc. is the world’s leading manufacturer of construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. For nearly 100 years, we’ve been helping customers build a better, more sustainable world and are committed and contributing to a reduced-carbon future. Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed. Caterpillar does business on every continent, principally operating through three primary segments — Construction Industries, Resource Industries and Energy & Transportation — and providing financing and related services through our Financial Products segment. 2 CATERPILLAR 2021 SUSTAINABILITY REPORT